CHW31-Disciplinary and Grievance Policy

Registration Number: {{org_field_registration_no}}

Disciplinary and Grievance Policy

1. Purpose

The purpose of this policy is to ensure that all disciplinary and grievance matters within {{org_field_name}} are handled fairly, consistently, and in compliance with the Regulation and Inspection of Social Care (Wales) Act 2016 and The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017. This policy provides a structured approach to managing employee misconduct, performance issues, and grievances in a way that upholds the rights and dignity of all employees while ensuring the highest standards of care for residents.

2. Scope

This policy applies to all employees within {{org_field_name}}, including care staff, management, administrative personnel, domestic and maintenance workers, and external contractors engaged in regulated activity. It ensures that disciplinary action and grievance procedures are undertaken in line with legal obligations, employment law, and best practice guidelines set by Care Inspectorate Wales (CIW).

3. Disciplinary Procedure

3.1 Principles The disciplinary process is designed to:

Ensure fair treatment of all employees.
Maintain a high standard of conduct within the care home.
Address issues of misconduct and poor performance promptly and effectively.
Encourage improvement and compliance with professional and ethical standards.

3.2 Informal Resolution Where possible, minor misconduct or performance issues will be resolved informally through discussions, additional training, and supervision. The aim is to provide employees with the opportunity to improve without formal proceedings.

3.3 Formal Disciplinary Process When informal interventions are insufficient or in cases of serious misconduct, the following formal procedure will be followed:

Step 1: Investigation An impartial investigation will be conducted to establish the facts of the case. This may involve interviewing witnesses, reviewing documentation, and gathering relevant evidence. The employee will be informed of the allegations and given an opportunity to respond.

Step 2: Disciplinary Hearing If the investigation confirms that there is a case to answer, the employee will be invited to a disciplinary hearing. They will be given advance notice, details of the allegations, and the right to be accompanied by a colleague or trade union representative.

Step 3: Disciplinary Action Following the hearing, a decision will be made, and appropriate disciplinary action will be taken. This may include:

Verbal Warning: For minor infractions, documented on the employee’s file.
Written Warning: If the issue persists or is of moderate severity.
Final Written Warning: For serious or repeated misconduct.
Dismissal: In cases of gross misconduct where continued employment is untenable.

Employees have the right to appeal any disciplinary decision within 5 working days of the outcome being communicated.

4. Grievance Procedure

4.1 Principles Employees have the right to raise concerns regarding their work environment, treatment, or any perceived unfairness. The grievance process aims to resolve issues fairly and swiftly while ensuring a respectful and professional workplace.

4.2 Informal Resolution Employees are encouraged to raise concerns informally with their line manager or HR representative before resorting to a formal grievance. Early intervention often leads to faster and more amicable resolutions.

4.3 Formal Grievance Process If the concern cannot be resolved informally, the employee should submit a formal grievance in writing. The following steps will be followed:

Step 1: Acknowledgement The grievance will be acknowledged in writing within 5 working days, and a meeting will be scheduled.

Step 2: Grievance Meeting A meeting will be held with the employee to fully understand their concerns. The employee has the right to be accompanied by a colleague or union representative.

Step 3: Investigation A thorough investigation will be conducted to assess the grievance. Evidence will be reviewed, and relevant parties may be interviewed.

Step 4: Outcome and Resolution A formal response will be provided within 10 working days of the grievance meeting, outlining any action to be taken. If the employee is dissatisfied with the outcome, they have the right to appeal within 5 working days.

5. Managing and Monitoring Compliance

The Registered Manager is responsible for ensuring adherence to this policy. Regular audits and staff feedback will be used to evaluate the effectiveness of disciplinary and grievance processes. Records of all disciplinary and grievance proceedings will be maintained securely in line with GDPR and data protection policies.

6. Related Policies

This policy should be read alongside the following:

CHW28 – Staff Conduct and Code of Ethics Policy
CHW29 – Whistleblowing (Speaking Up) Policy
CHW30 – Equality, Diversity, and Inclusion Policy
CHW31 – Disciplinary and Grievance Policy
CHW33 – Staff Leave and Absence Policy
CHW34 – Confidentiality and Data Protection Policy

7. Policy Review

This policy will be reviewed annually or sooner if changes in CIW regulations, employment law, or business needs occur.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.